Information for NPS Archeologists

This section describes the NPS archeologist’s responsibilities for
complying with cultural resource laws and regulations when conducting archeological
activities on parklands. It also includes responsibilities in assisting
regional directors and park managers in reviewing applications for a Permit
for Archeological Investigations (hereafter referred to as a “Permit”),
monitoring field projects, and reviewing final reports and products resulting
from archeological investigations.

A Permit is a legal document that defines the scope and methodology of
the permitted archeological work and specifies the conditions for suspending
the project. Thus, a Permit can be, and is, used in court to establish elements
of cultural resource laws violations, should they occur.

The NPS archeologist is essential to the permitting process. The archeologist
normally is designated by the park manager or regional director as a liaison
between the applicant and the regional director who issues the Permit. The
NPS archeologist may provide assistance or background information to the
applicant in preparing a Permit application, advises the park manager and/or
the regional director about the feasibility and appropriateness of the project,
monitors the activity, and reviews reports, ASMIS records, and other documentation
that is generated by the permitted investigation. Because of this important
role, the NPS archeologist should be familiar with
all sections of this NPS Archeology Guide Permits module.

NPS archeologists provide expert advice to the regional director and the
park manager on the issuance, inspection, and review of archeological projects
conducted under a Permit. NPS archeologists assist in enforcing cultural
resource protection laws and regulations, including the Archaeological
Resources Protection Act (ARPA) and ARPA regulations.

The NPS archeologist is also responsible for determining whether the proposed
project will impact an archeological or historical resource that is listed
or eligible to be listed on the National Register of Historic Sites. If
the proposed project will impact an eligible or listed site, the project
must comply with NHPA Section 106 provisions, and NEPA Environmental Assessment
requirements.

Whether located at a national park unit, a regional center that specializes
in cultural resources, or at the regional office, NPS archeologists conduct
field work and oversee the work of others on parklands. Although a Permit
is not required for NPS-authorized fieldwork, all work performed by NPS
archeologists is held to the highest federal standards (see Director’s
Order #28A, Sections 6A and 6B and Secretary
of the Interior’s Standards for Archeological Documentation).
NPS archeologists and non-NPS archeologists working on behalf of the NPS
must meet ARPA standards for undertaking archeological investigations (43
CFR 7.8 and 7.9). These standards include:

A graduate degree in anthropology or archeology, or equivalent training
and experience;

The demonstrated ability to plan, equip, staff, organize, and supervise
activity of the type and scope proposed;

The demonstrated ability to carry research to completion, as evidenced
by the timely completion of theses, research reports, or similar documents;

Completion of at least 16 months of professional experience and/or specialized
training in archeological field, laboratory, or library research, administration,
or management, including at least 4 months experience and/or specialized
training in the kind of activity the individual will be expected to carry
out;

Archeologists engaging in historical archeology projects should have
had at least one year of research concerning archeological resources of
the historic period. Archeologists engaging in prehistoric archeology
projects should have had at least one year of experience in research concerning
archeological resources of the prehistoric period.

NPS Archeologists: Assisting Applicants

It is important that permit applicants contact park managers when contemplating
an archeological project to be carried out on parklands. The park manager
may delegate responsibilities for assisting Permit applicants to a park
or other NPS archeologist. It is important that all NPS requirements are
discussed with the applicant before the permit application is submitted.
In order to assist the applicant in planning an archeological project, the
NPS archeologist should be familiar with:

Park management plans. The archeologist assesses the
relevance of the proposed research project to anticipated park needs,
and suggests ways that the proposed research may contribute to achievement
of management goals, and to articulate with management plans.

Permit application and the Permit process. The NPS
archeologist provides assistance to the applicant in preparing the application
for a Permit, and to the regional director in reviewing the Permit application.
The archeologist is familiar with the application forms, the information
requested, and the permitting process.

The NPS site recordation system. A Permit has the potential
to yield site management information that must be recorded in the Archeological
Site Management Information System (ASMIS), either as new site records
or updates to existing site records. It is important that requirements
for collecting and documenting site information in conformance with ASMIS
are included in the Permit conditions. The NPS archeologist provides a
permittee with a field form to record the pertinent ASMIS fields as site
documentation. The NPS archeologist may also require the permittee to
enter the data into an ASMIS database table, depending
on the capabilities of the permittee and the ability of the NPS archeologist
to monitor and verify data entry. More information about ASMIS
is available on InsideNPS. The NPS archeologist is familiar with:

ASMIS User Guide;

ASMIS Data Dictionary, which should also be provided to the permittee;

the required fields in ASMIS to create a complete, accurate, and
reliable site record (See “Required ASMIS Fields by Screen,
July 2005”). Note that some of the required fields, e.g., Site
Documentation Level, Treatment Proposed, Management Action, and National
Register Status, must be entered by NPS staff that make management
decisions about the site(s);

the most accurate and effective methods for the permittee to determine
site locations, such as GPS.

The park unit plans for discovery of human remains. A written plan of
action is required for the inadvertent discovery of Native American human
remains, intentional excavations of Native American human remains, or
both (NPS Cultural Resource
Management Guideline, Appendix R). The park manager will also provide
directives for inadvertent discovery and intentional excavation of non-Native
American human remains. The NPS archeologist provides the permittee with
a copy of the park plans for discovery of human remains or assists in
the development of appropriate plans.

If the archeological project is anticipated to impact a site that is listed
or eligible for listing on the National Register of Historic Sites or if
the project involves archeological excavations, compliance with Section
106 of NHPA or NEPA is required. The regional director or the regional director’s
appointed delegate will consult with the SHPO. If
compliance is required, the applicant will be requested to prepare background
documentation.

NPS Archeologists: Reviewing Permit Applications

NPS archeologists provide the major technical and policy review of archeological
Permit applications. They advise regional directors and park managers on
the merits of the proposed work and provide recommendations, with justifications,
for approval or denial of applications. The Permit may be denied if the
application does not meet Permit requirements. (See 43
CFR 7.8 Issuance of Permits).

The proposed work is to be undertaken for the purpose of furthering
archeological knowledge in the public interest.

The proposed work, including time, scope, location, and purpose, is
not inconsistent with any management plan or established policy, objectives,
or requirements applicable to the management of the park.

Written consent has been obtained for work proposed on state, tribal,
or other federal lands managed by the NPS.

Necessary compliance with cultural resource laws and regulations is
addressed.

A plan for documentation of newly discovered sites and revisited sites,
including new or updated ASMIS records, is provided.

Written confirmation has been obtained from the curatorial facility
that will accept the resulting collections and associated records.

Written confirmation has been obtained that the curatorial facility
is in compliance, or working toward compliance, with provisions of regulations
for federally-owned and administered archeological collections (36
CFR 79).

The applicant has confirmed that, not later than 90 days after the date
that the final report has been submitted to the NPS, all material remains
and associated records resulting from work conducted under the requested
Permit will be delivered to the curatorial facilities as named in the
Permit application (Permit Form, Standard Permit Conditions, 15v, w).

The NPS archeologists involved in Permit application review ensures that
terms and conditions for an approved Permit anticipate all possible outcomes
of the project including, for example, attention to final site condition,
review of deliverables other than reports, and ASMIS and ICMS data entry.

NPS Archeologists: NPS Inspections

The regional director is responsible for ensuring that inspections occur
during the field and laboratory phases of a permitted project to determine
whether the project is in compliance with stipulations of the Permit. These
inspections are conducted by NPS archeologists and, when feasible, an NPS
curator. During the inspection, the NPS archeologist verifies that:

A copy of the Permit is on site at all times;

Responsible parties identified in the Permit are present and are performing
the roles identified in the Permit;

The investigators are maintaining accurate field documentation, including
ASMIS data and locational data, preferably in GPS;

The investigators are maintaining a photographic log containing information
on each photograph taken, including full provenience information, date,
and aspect;

The investigators are maintaining a field specimen log;

The investigators are drafting maps containing detailed
information on the location of archeological investigations, the location
of individual archeological test units, significant profiles, and floor
plans;

The investigators are maintaining provenience integrity by placing associated
objects into common containers, and separating objects of different provenience
into separate containers, all of which are clearly marked.

Compliance requirements established through consultation with the SHPO(s)
or ACHP are being addressed.

The activities are in compliance with other NPS permits.

The appointed NPS archeologist or curator should also monitor project-related
laboratory activities. Laboratory inspection includes verification that
all of the NPS standards for collections management outlined in Curation
of Federally-Owned and Administered Archaeological Collections (36
CFR Part 79) and the NPS
Museum Handbook, and other NPS region-specific guidelines are met to
ensure proper management and security of the collection.

Should violations of the terms of the Permit be observed, the archeologist
communicates this information in writing and in a timely manner to the park
manager who, in turn, provide the regional director with the information
necessary to suspend the Permit and all associated activities.

NPS Archeologists: Discovery of Human Remains

If human remains are discovered, either during excavation or survey, the
plan developed by the park to respond to these circumstances is followed.
If no plan exists, the permittee ceases all work, secures the area, and immediately notifies
the park manager of the discovery. Work stoppage is specific to the area
where the human remains are encountered.

Native American Human Remains

If excavation of Native American human remains during the permitted project
was anticipated, the permittee will follow the procedures in the written
Plan for Intentional Excavation of Native American Human Remains provided
in the Permit. Project work may continue in accordance with the written
programmatic plan previously formulated by the park unit in consultation
with Native American tribes and made a part of the conditions of the Permit.

If the discovery of Native American human remains during the permitted
project was not anticipated, the permittee will follow procedures in the
Plan for Unanticipated Discovery of Native American Human Remains provided
in the Permit.

In the absence of a programmatic plan, permitted activities may be resumed
30 days after tribes have been notified (25
U.S.C. 3002(d)). During the 30 day work stoppage, permittees should
coordinate their activities with NPS in order to avoid harm to Native American
human remains and other cultural items that are protected under NAGPRA
(25 U.S.C.3001, Definitions).

If, as part of an excavation or inadvertent discovery, Native American
human remains or NAGPRA-related items are disinterred, scientific archeological
methods, techniques, analyses, and reports are conducted as required by
ARPA and Section 3 of NAGPRA (NPS Cultural Resource Management Guideline,
Appendix R).

Non-Native American Human Remains

If the human remains are determined to be non-Native American, NAGPRA does
not apply. In that case, the park manager will confer with law enforcement
officials, the county or state coroner, and/or the medical examiner to determine
the appropriate course of action. As the location of the human remains is
a potential crime scene, the permittee ceases all work immediately upon
discovery, and does not begin work again until notified by the park manager.

NPS Archeologists: Reviewing Research Reports and Products

The NPS archeologist reviews all products of the investigations, such as
reports, field forms, ASMIS site records, or the field data to create ASMIS
site records, for conformance with the Permit terms and conditions. The
NPS archeologist reviews all ASMIS site records or the information provided
for entry into ASMIS to determine that it is complete, accurate, and reliable.

The NPS archeologist provides the park manager and regional director with
comments and recommendations regarding the products. Upon completion of
the project and after all reports and/or products have been submitted and
accepted, the regional director sends a letter to the applicant and park
manager stating that the conditions of the Permit have been met.

Results of archeological investigations on parklands must be accessible
to a broad range of users, including federal, tribal, state, and local agencies,
the professional community, and the general public. Results must be communicated
in reports that summarize the objectives, methods, techniques, and research
results. Information relating to curation, such as any on-site conservation
of items, ICMS catalog records, name of the curatorial repository, and
collection accession numbers should also be included in the final report
in order that additional detailed information can be obtained, if necessary.
Information about specific site locations and other site information that
would endanger the integrity of the archeological resource, if generally
available, should be reported in a manner that allows the park manager to
withhold that information.

Preliminary Reports

Within six weeks of completion of the field component of the research project,
the permittee must submit a preliminary report to the regional director.
The report should describe the fieldwork, including accomplishments, methods
used to accomplish the work, names of individuals that carried out the fieldwork,
maps, any GPS data, completed ASMIS forms for any newly recorded archeological
sites, and any professional recommendations.

When a fieldwork episode involved only minor work and/or minor findings,
a final report may be submitted in place of the preliminary report.

Annual Reports

In the event that the Permit extends for more than 1 year, the NPS requires
an annual progress report by the permittee. The report must detail the extent
of work accomplished to date, and how much work remains to be carried out.
The Permit will be reviewed on a yearly basis following the submission of
the annual report to ensure that the project is meeting deadlines and goals
(43
CFR 7.9(g)).

Final Reports

Standard permit conditions require that within six months of completion of
the field component of the research project, the permittee must submit a
final report for review by the regional director. The applicant is advised
to submit a draft report ahead of time, and allow time for revisions based
on reviews by NPS personnel. If analysis is expected to take longer than
six months, the regional director may authorize an extension for submission
of the final report.

Field studies as actually implemented, including any deviation from
the research design and the reason for the changes;

Field observations, including the number of new sites that are discovered
and identified sites that are revisited;

Analyses and results, illustrated as appropriate with tables, charts,
photographs, and graphs;

Evaluation of the investigation in terms of the goals and objectives
of the investigation;

Recommendations for updating interpretive and management materials;

Recommendations for ongoing or proposed treatment activities, such
as structural documentation, stabilization, etc.;

Name and location of facility curating material remains and associated
records; and

Accession numbers.

If the actual research methods differed from those proposed, the reasons
for these differences should be included in the report.

The final report is a public document and cannot be copyrighted. Information
collected in the final report may be used by the NPS for cultural resource
management purposes. Information collected during the research project,
however, may be used by permittees in other publications that can be copyrighted.
However, the permittee must not publish, without the prior permission of
the regional director, any locational or other identifying archeological
site information that could compromise the government's protection and management
of archeological sites (Permit, Standard Permit Conditions 15.x).

Artifact and Document Storage

Artifacts and records from the archeological investigations on federally
owned parklands are the property of the United States (43
CFR 7.8). Material remains and associated records must be delivered
to the appropriate official of the institution responsible for curation
no later than 90 days after the final report is submitted to the regional
director (43
CFR 7.8.7).

NPS Archeologists: Archeological Resource Protection on Parklands

Disturbance of archeological sites without a Permit is illegal and will
be prosecuted. NPS archeologists assist in enforcing cultural resource protection
laws and regulations, in particular the Archaeological
Resources Protection Act (ARPA) and ARPA
regulations, through monitoring permittees’ research activities
and monitoring archeological resources within parks. NPS archeologists must
immediately report any cultural resource law violations to the park manager.
Other laws that protect park archeological resources include the National
Park System Resource Protection Act.

Looted or disturbed archeological sites are crime scenes, and must be investigated by
law enforcement personnel. Prior to the arrival of a law enforcement officer,
the NPS archeologist assists by recording information about the looting,
photographing damage, and obtaining accurate locational information. Once
the scene has been secured by a law enforcement officer, the NPS archeologist
assists in documentation of damage. Volumetric measures, profiles, and plan
views of looters’ pits become part of the damage assessment report. Backfill
is screened for further evidence. Archeologists who assist in this work
should meet the Secretary of the Interior’s Standards for Archeologists, and have completed ARPA law enforcement training for archeologists, particularly
training in conducting archeological damage assessments.

The NPS archeologist may also prepare the damage assessment report. The
damage report includes justification for assigned commercial value (if objects
or collections are recovered), site restoration and repair costs, and archeological
values. Current sources for determining commercial value include North American
Indian Artifacts: A Collector’s Identification and Value Guide, by
Lar Hotham, and Overstreet Indian Arrowheads: Identification and Price Guide,
by Robert M. Overstreet. Evaluation of the commercial value of Euroamerican
objects may be gained through use of e-Bay. Professional
Standards for determining archeological value are available.

The damage assessment report provides the prosecutor with the information
to argue the case, and is critical to a successful prosecution. Archeologists
work closely with NPS law enforcement personnel to determine the cost of
penalties associated with criminal offenses and civil penalties under ARPA.
The penalties section of ARPA is at 16
U.S.C. 470ee(d), and 470ff.

Archeologists play a pivotal role in the documentation of looted and disturbed
sites and in the successful prosecution of archeological resource laws violations.
Archeologists also work pro-actively with regional and local law enforcement
personnel to protect archeological resources. Archeologists and law enforcement
personnel share information about the location of important sites to promote
site monitoring. Archeologists educate park law enforcement officers about
the importance of protecting and preserving archeological resources and
encourage park law enforcement officers to attend training in cultural resource
laws and law enforcement.

Archeologists also work closely with park interpretive staff to provide
visitors with information about cultural resource laws and the actions that
constitute violations of cultural resource laws. Archeologists work with
interpretive staff to educate visitors about the importance of protecting
our national heritage. Resources for development of interpretive materials
for protection of archeological resources are available on the NPS Archeology
Program Distance Learning web page.